City of Boston Department Records Officer File Plan Guide CONTENTS

Transcription

1 City of Boston Department Records Officer File Plan Guide CONTENTS The City s records are its information assets. Like all assets they must be cared for and managed. DoIT, the City Archives and the Law Department are collaborating to promote awareness of the obligations, benefits and resources of archives and records management. For questions, contact Patrick Collins (DoIT), John McColgan (Archives & Records), or Kevin Corridan (Law).

2 Gas street lamp #30 Pinckney Street, Beacon Hill Photographer: James E. Miller, November 15, 1963 Street Lighting History Collection (Collection # ) City of Boston Archives What is a File Plan? A File Plan is an inventory of the official records of a department, along with their legally mandated retention periods and disposition policies. Each Department Records Officer (DRO) will have access to their Department s File Plan through a database created in the City s SharePoint site. This database is part of the DRO Toolkit, an online interactive tool that enables collaboration between DROs and the Archives in developing the File Plan and maintaining records disposition procedures. Why are File Plans so important? The File Plan plays a vital role in the management of each Department s official records. Without a File Plan, no one can say with certainty which records are to be kept permanently and which records may be discarded and destroyed. A File Plan is needed in order to successfully manage the retention and disposition of records.

3 What are the benefits to my Department? The benefits of exercising sound records management policy and procedures are three-fold: 1. Fulfills Legal Obligations Advances Department compliance with State Law, City policy and legally mandated retention schedules. 2. Generates Efficiencies Departments will have more efficient access to needed records and are likely to experience a reduction in storage costs and/or an increase of storage space 3. Preserves Documentary Heritage Departments will be better equipped to identify those records which document the history, organizational structure, and functions of the municipal government of the City of Boston. What are the responsibilities of DROs? DROs are responsible for acting as liaisons to the City Archives and ensuring the systematic disposition of department records. Proceedings of the Boston City Council, [Aldermen minutes, ], (Collection # ), City of Boston Archives

4 Mayor Kevin H. White with Boston Pops Conductor Arthur Fiedler at Fiedler's birthday party, Mayoral records (Collection # ), City of Boston Archives What is Records Disposition? Disposition is the appropriate action once records become non-current or inactive, and/or when their retention period expires. There are three basic options: 1. Destruction: If the retention period has expired the records should be destroyed or deleted once approval has been obtained from the State. The City Archives orchestrates State authorization on behalf of departments. 2. Storage: Non-current records required to be retained for business or legal reasons may be stored off-site with the City s records center services vendor (Retrievex) until retention expiry. 3. Archives Preservation: Non-current or inactive hard-copy records with a permanent retention period must be transferred to the City Archives. Electronic archival records must be stored in the Permanent folder (in Enterprise Vault for ; in Files Systems Archives in the H drive for desktop files).

5 Go to the DRO Toolkit: The DRO Toolkit is a SharePoint site viewable by DROs and the City Archives. The site contains the File Plan database and links to resources critical to the systematic management of records (e.g. terms and definitions; stateapproved retention schedules; workflow forms to apply for records destruction or archives transfer; records storage links; etc.):

6 File Plan Database The critical component of this site is the File Plan database. This is an inventory of the official records of a department along with their retention periods; it documents the policy basis for your department's records retention and disposal procedures. To populate your file plan database, fill in each field of the Input Form and hit the Submit button:

7 To view the File Plan table you have created, click on the link to your Department. To edit data in the File Plan view, click on series number to bring up the edit screen:

8 How do I determine the retention period of a records series? Under "Records Disposition Links" you will find links to City and State retention schedules on which to base department retention policy in the File Plan. If you don't find the relevant item in the City-wide Retention Schedule, check the Supervisor of Public Records (SPR) municipal records schedule. If you still find no match, contact Archives personnel, who will help you evaluate the records based on operational, fiscal, legal or historical criteria. To share the File Plan with records users in your department, you may export it to an EXCEL spread sheet. From the table view click on "List" under "List Tools", and then simply click on "Export to Excel :

9 The File Plan is designed to be a reference tool for continuous use over time as retention periods expire and records become ready for disposition (destruction, offsite storage, or archival preservation). At appropriately determined intervals based upon each department s needs (e.g. yearly), the DRO must administer the disposition of records in accordance with the agency File Plan. Under "Records Disposition Links" you will find links to electronic workflow forms for: Obtaining destruction authorization from the State Certifying records destruction, and Transferring archival records to the City Archives Cover Page, Perambulation of the Boundaries, 1896 (Collection # ), City of Boston Archives

10 Perambulation of the Boundaries, 1896 Monument 126. (Collection # ) City of Boston Archives To obtain authorization to destroy records: In the DRO Toolkit, under Disposition Links, click on Records Destruction Authorization Form. This will bring you first to the HUB log-in, and then directly to an electronic workflow form. Follow the instructions and press GO. Your request to destroy obsolete records will be on its way to the Archives for review, and from there to successive approvals by the City Clerk, Corporation Counsel and the State Supervisor of Records.

11 Certifying Records Destruction Once the Archives notifies you of State approval, destroy the records and verify destruction using the Certificate of Records Destruction form (also on the HUB and also linked from the DRO Toolkit s Disposition Links ). Sumner Tunnel Wall Washing Machine entering Boston Portal, 1946 Item , Sumner Tunnel, 9/26/46, Bridge and Ferry Photographs circa (Collection # ), City of Boston Archives

12 Old Agassiz School, Burroughs St., Jamaica Plain School building photographs circa (Collection # ), City of Boston Archives To store records off-site: Under Offsite Storage Links you will find complete information on storing records at Retrievex. The City contracts with a commercial records center, Retrievex Inc., to provide secure storage and retrieval for records no longer regularly used, but which must be retained under your agency s File Plan. Stored records may be retrieved on a day's notice (or earlier if needed at additional fee.) When records reach the end of their scheduled retention time, the Archives Division will notify you of their status, coordinate necessary City and state approvals, and arrange for Retrievex to shred them.

13 Archival Records What are Archival Records? Archival records are those which critically document policy and decision-making of City Departments, and therefore offer ongoing evidential and historical value to the City and society. They are scheduled for permanent retention on City and State retention schedules, and should be transferred to the Archives Center when no longer required for current business purposes. Although they play a very important role in documenting the history of our City, Archival records generally make up a small percentage of the overall records generated in the course of City business. Letter from Francis Jackson and William Lloyd Garrison thanking the Board of Alderman for the use of Faneuil Hall for Anti-Slavery Society Meetings, 27 January 1843, City Council Proceedings, , (Collection # )

14 To transfer records to the Archives: 1. Place records, in their original order, into records center cartons (H10 x W12 x L15 ) leaving several inches in the carton for easy retrieval. 2. Mark the boxes with a sequence number and information on content (identity, range, dates), and prepare a box list. 3. In the DRO Toolkit, under Disposition Links, click on Archival Records Transfer Form. Follow instructions in filling out the form. Click the Save and Send button to create an attaching the form. Attach the box list to the and send it to archives@cityofboston.gov.

15 4. Contact the Archives ( ) to discuss transport arrangements. Once at the Archives Center, records are secured in an environmentally controlled facility and managed by professionally trained archivists. Archives staff will prepare descriptive finding aids and make records available to departments and to the public in accordance with the public records laws and any legal restrictions that may apply. Sketch of Proposed Ball Field and Recreation Ground in the Fens, 1925, Parks Department Special Report, Parks and Recreation Department Annual Reports and Publications, , (Collection # )

16 "Learned and Industrious Fleas" Exhibit, 1835, item C2. Handbill submitted to City Council as part of permit application for Flea Circus Exhibit on Washington St., City Council Proceedings (Collection # ), City of Boston Archives